Certifying Third-Party FCPA Compliance Under New SEC/DOJ Requirements
How can I possibly certify that 100 percent of my third parties, including all customers and vendors, are 100 percent ...
Tag: Due Diligence
ESG Screening Underscores Challenges in Third-Party Risk Management
Nearly half of compliance and procurement professionals find it difficult to identify environmental, social and governance within customer due diligence ...
5MLD – So, How Well Do You Really Know Your Customers?
With Europe’s fifth AML directive set for implementation in a matter of months, banks should be preparing now. Opus’ Kelvin ...
Automating KYC Compliance with Smart ID&V
As customers increasingly prefer to do their banking via smart devices, it’s time for banks to modernize their approach to ...
FINRA Reveals Top Areas of Interest: Supervision and Digital Communications Compliance Programs
The Financial Industry Regulatory Authority (FINRA) has issued its latest report, and the findings could be significant for financial services ...
The Pros Who Are Key to Fighting Corporate Fraud
Management accountants are on the front lines of fraud, and their skill sets make them ideal for fraud detection and ...
How M&A Benefits from Independent Assessment
Pop quiz! What’s the best time to engage an independent monitor for an M&A process? Answer: “as early as is ...
The Whys, Whats and Hows of an Independent Assessment of a Target
Jay Rosen discusses how to assess ethics and compliance in the context of a merger or acquisition, what to look ...
Ethical Fit: What Impact Do M&As Have on Both Parties?
Jay Rosen considers the impact mergers and acquisitions have on both the acquired entity and the acquirer, starting with the ...
Oversight of Merged Companies
Jay Rosen considers what a monitor would review to determine if a company adequately considered ethics and compliance during the ...
Key Compliance Issues for M&As
Applying the FCPA Corporate Enforcement Policy There are many ways a merger or acquisition can go sideways, including the discovery ...
What is the Power of a Pre-Settlement Monitorship?
Jay Rosen, “Mr. Monitor,” continues his series on corporate monitorships. Here, he discusses the various ways a proactive pre-settlement monitorship ...
